DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

S•••• M•••••• P•••

T••••••••• R••••••••• A•••••••• L••BD affiliatedColorado Springs, Codual registrantIAPD 2912162

Certified Financial Planner · Chartered Financial Analyst

Feed of 09/14/2026

At current firm

1 y

since Oct 1, 2024

In the industry

28 y

since Feb 19, 1998 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

T••••••••• R••••••••• A•••••••• L•• BD affiliated current
since Oct 1, 2024 · Colorado Springs, Co
C•••••• A••••••• L•• asset manager
Nov 13, 2007 to Aug 16, 2024 · Naperville, Il
A•••••••• W••••• M••••••••• independent RIA
Aug 15, 2002 to Sep 26, 2007 · A•••••••• Heights, Il
W•••• E••••• G••••• I••• BD affiliated
Mar 19, 2001 to Aug 24, 2004 · A•••••••• Heights, Il

Moves

a registration end followed by a registration begin elsewhere

C•••••• A••••••• L•• to T••••••••• R••••••••• A•••••••• L••
left Aug 16, 2024, registered Oct 1, 2024 (46 days) · Other
A•••••••• W••••• M••••••••• to C•••••• A••••••• L••
left Sep 26, 2007, registered Nov 13, 2007 (48 days) · Other
W•••• E••••• G••••• I••• to A•••••••• W••••• M•••••••••
left Aug 24, 2004, registered Aug 15, 2002 (-740 days) · Other

Signals

S•••• M•••••• P••• left C•••••• A••••••• L•• for T••••••••• R••••••••• A•••••••• L•• (registered 2024-10-01)
Aug 16, 2024 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address